3 days ago

Suitability & Appropriateness Compliance Officer

CREDIT SUISSE AG: Corporate Functions

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Suitability & Appropriateness Compliance Officer

  • A challenging function within the Chief Compliance Officer Organization in the International Wealth Management Division (Compliance & Regulatory Affairs) located in Zürich
  • Be a part of our suitability team who is mandated to independently identify, assess, mitigate and manage compliance risk in the area of suitability and to evaluate the appropriateness of procedures and guidelines to mitigate such risks on a pro-active basis
  • Provide guidance on suitability & appropriateness related questions towards the business and internal stakeholders from Compliance and General Counsel
  • Document suitability and appropriateness related investigations and their results accordingly and escalate potential findings 
  • Provide expert guidance on the development of relevant policies and control documentation
  • Execution of the recurring suitability & appropriateness monitoring for IWM Division, and preparation of senior management information reporting
  • Develop and cultivate good working relationships with other departments of Compliance & Regulatory Affairs, General Counsel, the Business, Internal and External Audit, and other control functions to continually improve our control environment 
  • University degree in a Law / Economic related area or alternatively an apprenticeship with further education (Diploma / Certificate in Compliance, AML or Financial Crime is desired but not essential)
  • Ideally minimum of five years of relevant experience particular in the field of Compliance, Risk Control, Risk Management or Audit
  • Strong verbal and written skills in German and English are a must, any additional language is a plus
  • Competent in the usual Microsoft applications
  • Demonstrated knowledge and understanding of risk control techniques
  • Sense for regulatory matters with an enthusiastic approach to the role as well as attention to detail and well organized, joint-up thinking and flexibility
  • High ethical and control standards, high resilience level, commensurate with working in a critical control function
  • Familiar in operating in a complex environment with management interdependencies
  • Open and dedicated team-player who likes to share knowledge and ready to learn from others

 
Ms. M. Moss (HIOD 22) would be delighted to receive your application.
 
Please apply via our career portal.